CASP Record Keeping & Audit Trail Manager
Demonstrates MiCA Art. 68(9) — Maintaining records for minimum 5-year retention with complete audit trails
4
Total Records
4
Within Retention
1
Expiring (30 days)
0
Eligible for Deletion
Create New Record
MiCA Compliance Note
Implemented
- Art. 68(9) — 5-year minimum record retention for transactions, communications, compliance actions, and client instructions
- Art. 68(9) — Records sufficient for supervision and provided to clients on request; searchable by client ID, record type, and date range
Out of Scope
- Art. 68(9) — NCA extension mechanism (records may be retained up to 7 years if requested by competent authority)
- Art. 71 — Complaint records (separate POC needed)
- AML/CFT — KYC/CDD documentation (outside MiCA) and Art. 75 custody position statements (separate POC needed)
What This POC Does Not Implement
- ❌ Encryption & secure deletion — Data stored in browser memory only; real systems must use FIPS 140-2 compliant encryption and secure erasure (e.g., DOD 5220.22-M)
- ❌ Immutable audit trail — Audit log can be modified in this demo; production requires append-only logs with cryptographic signatures
- ❌ Role-based access control (RBAC) — No authentication; real CASP systems must implement Art. 68 governance arrangements with fine-grained RBAC
- ❌ Data integrity verification — No checksums or hashing; production systems should detect tampering (MiCA does not prescribe a technique)
- ❌ Regulatory API integration — Deletion requests cannot be submitted to NCA; this would require direct integration with competent authority systems
- ❌ Persistent storage — Records are cleared on page reload; production uses durable databases with disaster recovery and backup retention policies